Attorneys at law
16 Market Square 6th Floor
1400 16th Street
Denver CO 80202-1486
Colorado tel 303 292 2900
North Dakota tel 701 264 3005
fax 303 292 4510
www.moyewhite.com





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Moye White
All rights reserved.

Securities & capital markets

Moye White represents public and private companies, broker dealers, and investment advisers in a wide range of capital market transactions and securities compliance issues.

Public and Private Companies
We work with our clients to develop strategies to raise capital, and we prepare offering documents for both private and public offerings. We counsel early stage companies on formation issues and raising funds from investors in private offerings. We also represent public companies with respect to private and public offerings of common stock, preferred stock, warrants and convertible debt, including PIPEs and registered direct offerings as well as other corporate transactions such as mergers, acquisitions, divestitures, financing, restructurings, and recapitalizations. Since 2002, we have represented real estate investment trusts in public offerings totaling in excess of $20 billion.

We also work with clients to develop best practices on securities compliance issues and governance, particularly in response to changes in their regulatory environments. We assist public companies in preparing periodic reports, proxy statements, offering documents and other filings with the Securities and Exchange Commission, FINRA and stock exchanges. Our attorneys have conducted internal investigations and served as counsel to special committees formed by company boards.

We represent individuals, companies, and audit firms before state and federal securities regulators on an ongoing basis and work with our trial attorneys to defend clients in civil litigation and administrative proceedings involving claims of fraud and other securities law violations. Our attorneys have defended clients in civil trials, internal investigations, and administrative proceedings brought by the SEC, FINRA, state regulatory agencies and national stock exchanges.

Regulated Entities
We represent broker-dealers and investment advisors in a range of regulatory and compliance matters.  Our work includes formation of new broker-dealers and investment advisers, advice concerning ongoing compliance with state and federal securities laws, and defending clients in civil and administrative proceedings brought by regulators and customers. 

Private Capital
Moye White represents a broad range of private investment funds, as well as private companies, lenders, and individual portfolio companies. Our multi-disciplinary practice provides a full range of specialized services to clients engaged in acquisitions, divestitures, restructurings, liquidations, recapitalizations, securities offerings, investments, buyouts, and other transactions. Our attorneys advise borrowers and lenders in debt financing and restructuring transactions, including structure and negotiation of senior and subordinated debt facilities in leveraged transactions. Our firm’s securities, M&A, employment, finance, tax, and bankruptcy lawyers provide the skills necessary to achieve complex client objectives throughout the investment cycle.

Our experience involves investments across many industries, including biotechnology,  business services, communications, distribution, energy, healthcare, insurance, Internet, manufacturing, media, real estate, retail, software, and technology.
 
Funds
Our lawyers assist clients in the organization, operation, and maintenance of private investment funds, including buyout, mezzanine, distressed, and venture capital funds. We have signifcant experience in the design and implementation of management fee and executive compensation arrangements for the principals of private investment funds. Services include partnership structuring, preparation of offering documents, identification of tax, securities, and investment company issues, and resolution of compensation, equity, employment, and governance issues.

Moye White provides counsel on leveraged transactions. While we frequently represent the private equity acquirer, we also have significant experience in representing management teams, mezzanine investors, and financial advisers in leveraged acquisitions.

We also represent clients in international transactions in the Central and South America, the European Community, and the Pacific Basin.  Additionally, Moye White is an active member of the International Alliance of Law Firms, a network of select, business-oriented law firms (over 50 member firms from 40 countries), which enables clients to obtain quality legal services on a global scale.  We co-counsel with Alliance firms in and outside the USA and facilitate client to law firm introductions.

 

Securities & capital markets contact

David C. Roos